Escolar Documentos
Profissional Documentos
Cultura Documentos
Steven J. Burton
University of Iowa
[AG]
A catalog record for this book is available from the British Library
Library of Congress Cataloging in Publication Data
The path of the law and its influence : the legacy of Oliver Wendell Holmes, Jr. /
edited by Steven J. Burton.
p. cm. (Cambridge studies in philosophy and law)
Includes index.
ISBN 0-521-63006-1 (hb)
1. Law Philosophy. 2. Holmes, Oliver Wendell, Jr., 18411935 Contributions in
philosophy of law. I. Burton, Steven J. II. Series.
K230.H632 .A37 2000
340.1 dc21
99-054696
ISBN 0 521 63006 1
hardback
Contents
Acknowledgments
List of Contributors
Introduction
page ix
xi
1
STEVEN J . BURTON
7
33
DAVID LUBAN
50
87
94
SCOTT BREWER
133
158
197
211
viii
Contents
231
SANFORD LEVINSON
245
285
278
BRIAN LEITER
326
333
351
1
Law as a Vocation: Holmes and the
Lawyers Path
robert w. gordon*
In Louisa May Alcotts Eight Cousins, first published in 1875, a young woman
called Rose is being given a conventional girls upbringing by her aunts, in a
dark and stuffy old mausoleum of a house. Then Uncle Alec becomes Roses
new guardian. He strides into the house, throws open the curtains and the windows, and hustles his ward into the outdoors. He throws out her old confining
clothes and buys her new ones, changes her diet, and, with his vigorous scientific intellect, begins helping her to clear her mind of received opinions. With
the very first sentence of The Path of the Law When we study law we are not
studying a mystery but a well-known profession we know Uncle Alec has
arrived and that the old Victorian mansion will never be the same again.
I. The Nineteenth-Century Vocational Address
Holmess speech is all the more visibly iconoclastic because it fits into a familiar nineteenth-century form. The lawyers of Victorian America cherished the
vocational address. At law school commencements, gatherings of the bar, or
memorial services for colleagues, the lions of bench and bar improved the occasion with speeches on the lawyers calling and his duty to that calling. Alien
though these hundreds of orations are to the modern ear, repellent at times in
their self-importance and hypocrisy, they reveal something admirable, too: a
profession struggling to span the abyss between its high-sounding ideals and
what so often seem its dull, trivial, and even sordid quotidian practices, to express an idea of law as a calling that could lead a man to honor, social usefulness, and self-respect.
* I am grateful for the comments of Thomas Grey, David Luban, Mark Osiel, Tanina Rostain, and
Richard Thornburgh on earlier versions of this essay, for Martha Nussbaums advice on Stoic
ideas in the formation of nineteenth-century professional identity, for Wendie Schneiders help
in unearthing vocational speeches, and for the criticism and encouragement of participants in the
conference The Path of the Law in the Twentieth Century at the University of Iowa College of
Law in January 1997.
Robert W. Gordon
The standard address points the novice toward a high road of practice and
warns him off a low road. Law, as ideally practiced, was a science of principles.
Principles were generated by induction from particulars, decided cases, which
vaguely partook by proximity as it were of the traditional authority of
topdown natural law principles, as well as of the authority of modern science.
Cases also drew their authority from the common law, that slow, organic growth
that gradually adapts to changing social needs and circumstances. Science was
to be enhanced by liberal learning: the ideal lawyer was educated both in
broader legal fields, for comparative and historical perspective the civil law,
the Roman law, and the law of nations and in liberal studies outside the law:
classics, literature, the history of ancient and modern republics.
Besides learning, the upright lawyer possessed character acquired by experience, especially the experience of being entrusted with his clients money and
secrets, and the responsibility of counseling people in trouble and perplexity.
He sees domestic tragedies and domestic comedies the effects of prosperity
and adversity the home countenance and the mask of society the open and
closed chambers in mens bosoms.1 These personal attainments translate into
social virtues. By training and experience, the lawyer is peculiarly fitted to assume the role of trustee of the basic framework of society the system of rules
that protects individual rights, and the system of legal relations and duties that
protects organic social bonds. As an advocate, the lawyer helps clients to vindicate their legal rights. But the lawyer also represents the law, the system of
principles, rules, rights, and obligations that holds the social order together.
This leadership of the lawyer is not accidental nor enforced, but natural and
resulting from his relations to society. That which binds society together, and
makes possible its successes and its blessings, is the mystic force which we call
law.2 He educates and guides clients in the performance of their legal obligations. He is an expert adviser to the judiciary in the interpretation of the laws
and (through law reform movements and institutions) to the legislature.
Through judicial review the private lawyer is connected with the highest functions of statesmanship, even the bringing of majority will before the altar of
Constitutional principle.3
The lawyer might well crown his career by becoming a judge himself and
was of all professionals most likely, as well as most fitted, to become a legislator; but even as a private lawyer, he was a statesman. [W]hile lawyers, and because we are lawyers, we are statesmen.4 In his key social roles vindicator
of rights and upholder of social order the ideal lawyer is a mediator between
extremes of ideology and faction. As a private lawyer, he protects the rights of
individual property and liberty from the overbearing forces of the state and
other private interests. As a statesman judge, legislator, official adviser to
courts, legislatures and officials, civic activist, and counselor to clients his job
is to ward off the twin dangers of populism (leveling and redistributive impulses) and special interests (demands by the powerful on the state for monop-
Law as a Vocation
olies, privileges, subsidies and exemptions, and corruption of courts and officials to obtain them) that threaten those rights.5 He is a conservator of legal institutions and principles, but not a reactionary; a reformer equipped to adapt law
to keep pace with changing social needs and views, but not a radical. Above
all by virtue of his ability to see matters from all sides but remain independent from all partisan factions and interests the lawyer may serve as a peacemaker and compromiser, a calmer of personal and social passions, who counsels overexcited clients to avoid litigation and overheated social movements to
refrain from destroying the organic social bonds of custom, reinforced by law,
that hold the social fabric and the national union together.
These addresses admonish as well as celebrate. They point the finger at the
all too prevalent departures from the ideal, the lawyers who bring the bar into
deserved disrepute. The regular villains fall into three types. (1) the unscientific
lawyer, incapable of statesmanship because epistemologically challenged: the
mere case lawyer or book lawyer, the man of forms, and cases, and blackletter lore, and of nothing else,6 who can argue only by close analogy and pile
up citations favoring his partisan cause unable even to perceive the broader
principles at issue in his cases. (2) The lawyer who is in the profession only to
make money. Lawyers obligations as citizens, professional dignity, personal
character, the refinements of society and home of what value are they to those
whose life, whose passion, whose God, is GOLD, and the political emolument
and sensual pleasures which it secures? asked the New Jersey lawyer Joseph
Jackson in 1859. Avarice, more than all other causes combined, defeats justice, impairs the usefulness of the bar, and sinks too many of its followers almost to the level of Satan himself.7 (For instructive contrast, the speakers
pointed with lugubrious relish to lawyers who amassed fortunes but left no
record of accomplishment, unlike lawyers who cared little for money and died
poor but acquired honor and reputation.) (3) Finally and perhaps most surprising, to the modern ear the lawyer is reproached who allows himself to become the mere unthinking instrument of clients passions and partisan ends,
however senseless or unworthy. Lawyers who argued that the private bar served
justice and other important public purposes by vindicating their clients private
rights had, of course, to deal with the reality that some clients seek to avoid justice or wreak injustice upon others. The dominant solution of modern lawyers
to this dilemma, the doctrine of unswerving partisan loyalty, was roundly rejected. The famous admonition of Lord Brougham to the effect that the lawyer
must fight for his client, heedless of any other interest in the universe,8 was often quoted, but invariably with disapproval. Lawyers were much more likely to
agree with Simon Greenleaf:
While our aid should never be withheld from the injured or the accused, let it be remembered, that [. . .] our duties are not concentrated in conducting an appeal to the law;
that we are not only lawyers, but citizens and men; that our clients are not always the
10
Robert W. Gordon
best judges of their own interests, and that having confided these interests to our hands,
it is for us to advise to that course, which will best conduce to their permanent benefit,
not merely as solitary individuals, but as men connected with society by enduring ties.9
No one argued that lawyers were morally unaccountable for clients conduct.
On the contrary,
If his client presses [the lawyer] . . . [to] direct him as to future conduct, he must, as a
moral and accountable being, point that clients feet into paths that lead to justice, not
toward wrong and oppression . . . Should he [. . .] favor the unjust schemes of a bad
client, he becomes equally guilty with him; as much as if they two had originally conspired in malicious scheming.10
The stakes, as pictured in these addresses, were extremely high, the alternatives stark. If law was not practiced as an elevated science and social trusteeship, it was a pernicious and driving trade.11 Better than any other . . . position or business, said Rufus Choate, in one of the best-known and most-quoted
speeches, the lawyers profession enables him to serve the State, and it is this
and only this that
raises [law] from a mere calling by which bread, fame and social place may be earned,
to a function by which the republic may be served. It raises it from a dexterous art and
a subtle and flexible science from a cunning logic, a gilded rhetoric, and an ambitious
learning, wearing the purple robe of the sophists and letting itself to hire to the dignity
of almost a department of government an instrumentality of the State for the well-being and conservation of the State.12
Law as a Vocation
11
change. [. . .] [The people] knew inwardly that they had betrayed their fathers, or were
betraying them; they paid homage to them in the ceremony of humiliation and thus regained something of their self-respect, though paradoxically they had to acquire it by
confessing their iniquities.14
He goes out of his way to endorse the view of our friend, the bad man:
I am much of his mind. The prophecies of what the courts will do in fact, and nothing
more pretentious, are what I mean by the law. (Path, 393)
and to express outright hostility to the use of moral language to define legal liabilities:
If you commit a tort, you are liable to pay a compensatory sum. If you commit a contract, you are liable to pay a compensatory sum unless the promised event comes to
pass, and that is all the difference. But such a mode of looking at the matter stinks in the
nostrils of those who think it advantageous to get as much ethics into the law as they
can. (394)
I often doubt whether it would not be a gain if every word of moral significance could
be banished from the law altogether . . . We should lose the fossil records of a good deal
of history and the majesty got from ethical associations, but by ridding ourselves of an
unnecessary confusion we should gain very much in the clearness of our thought. (396)
12
Robert W. Gordon
thers have done them or that our neighbors do them, and the same is true of a
larger part than we suspect of what we think (398). Behind the logical form
lies a judgment as to the relative worth and importance of competing legislative grounds, often an inarticulate and unconscious judgment, it is true, and yet
the very root and nerve of the whole proceeding (397). The main product of
this delusion, that the habitual is the logical, turns out to be the most cherished
object in the entire mausoleum, the fundamental law of the Constitution. What
nineteenth-century judges had been elaborating as doctrines emanating from
basic principles of liberty and property, Holmes contemptuously describes as
the fear of socialism felt by the comfortable classes of the community . . .
generalized into acceptance of the economic doctrines which prevailed about
fifty years ago (398).
History and tradition are the next to go. For Holmes, the main reason to study
history is that it disabuses us of our reverence for tradition, by revealing that
traditional forms are often irrational survivals of practices rooted in the power
politics and dominant assumptions of past times perpetuated into our own by
blind imitation, distortion and overgeneralization, and above all by spurious rationalization the invention and reinvention of novel policy rationales for outdated doctrines. Holmes recommends the study of history primarily to cure the
bar of its backward-looking orientation. It is revolting to have no better reason
for a rule of law than that so it was laid down in the time of Henry IV (399).
Once we are rid of blind reverence for the past, he looks forward to the time
when the part played by history in the explanation of dogma shall be very
small (4023).
But the most dramatic contrast between The Path of the Law and the standard vocational speech is not in what is mocked but what is missing. Nowhere
here is there any reference to the lawyer as minister of justice or trustee for his
clients or for society at large the lawyer as protector of rights, as force for conservative order or as far-seeing legal statesman, as mediator between classes or
between capitalism and democracy. After everything Holmes has said of the
laws empty chatter about morals and rights and duties, its purported sanctification by tradition and the teleology of progress, and its purported rational content as a deduction from conceptual axioms, this omission is hardly surprising.
He would seem to have shredded all of the fancy costumes in which nineteenthcentury lawyers tried to dress up their profession.
III. Holmes the Creator
But if everything musty in the old house is to go, how will the house be refurnished? When Uncle Alec has finished clearing Roses mind of cant, what does
he encourage her to learn instead? The most obvious candidates to replace the
lawyer as moralist and curator of worn-out traditions, as mouther of high-sounding but imprecise generalizations, as unselfconscious retailer of outmoded prej-
Law as a Vocation
13
udices and policies, were clearly these: the lawyer as neutral predictor of the
output of courts, and the lawyer as policy analyst and utilitarian social engineer.
Thus, at any rate, have most subsequent generations with varying degrees of
approval and horror read the message of The Path of the Law.
Probably the most common reading of the speech is that it sets forth a purely
positivist theory of law a deflated, demoralized, disenchanted view (to use
Max Webers term) of the legal system. To those who like this view, the bad
man is just the rational man homo law-and-economicus who treats all legal rules as prices on conduct, risks of sanctions to be discounted by the probability of enforcement, data for costbenefit analysis. On this reading, Holmes
anticipates the great shift not completed until nearly our own time in professional self-conceptions from exemplary character and social trusteeship to
instrumental expertise.17 To less approving eyes, Holmes recommends that the
lawyer regard the legal system in a wholly alienated and instrumental fashion
not as a set of norms established for common membership in a political community, nor as an attempt to realize (however imperfectly) ideals of justice or
social integration but simply as random and arbitrary outputs of state force,
which are opportunities for or obstacles to realizing his clients self-interested
projects. To Holmess fiercest critics, he seems to be arguing that state-enforced
Might is Right.
A second interpretation views The Path of the Law as promoting a more active and constructive task than that of predicting the-law-as-it-is: the task of
making conscious and articulate the social purposes that legal rules have been
fashioned to serve, to assess through study of actual effects how effectively
those purposes are served in actuality, and to reform the law to make it serve
those purposes more efficiently. Liberal Progressives took this as encouragement to expose the reactionary and obsolete social and economic theory (Mr.
Herbert Spencers Social Statics, in the memorable phrase of Holmess
Lochner dissent) lurking in Constitutional principles and as support for their
program of redistributive regulation. More recently, neoclassical legal economists have taken it as prefiguring their program of restating the latent functions
of law as promoting efficiency and reforming such law as is inefficient.
Yet although the neutral predictor and policy engineer are obviously elements of Holmess vision, they are only pieces of a complex whole. Holmes in
The Path of the Law is not putting forward a theory of law, but rather (to paraphrase Wallace Stevens) thirteen ways of looking at law sketches of approaches to the legal system that present it in a new light.
Take the bad man and the prediction theory. The latter cannot possibly
be a theory that law has no moral content. The law is the witness and external
deposit of our moral life, Holmes says in the Path of the Law (392), and elsewhere makes clear that the law of any age is saturated with prevalent moral
and political theories as well as [t]he felt necessities of the time . . . intuitions
of public policy, avowed or unconscious, even the prejudices which judges
14
Robert W. Gordon
share with their fellow-men.18 Nor can this plausibly be supposed to be a realists description of law practice. The lawyer as neutral predictor is too neutral
for belief. He may not be a moralist, but he is not an advocate or strategist either. As Holmes, who had practiced law for fourteen years, must have been
aware, the corporate lawyer of the 1880s and 1890s was, even less than his present-day counterpart, a passive analyst of the law: he was an active shaper of it,
a drafter of bills favoring his clients and a lobbyist to push them through legislatures; a bargainer with regulators, flatterer of judges, seducer of juries; a
skilled artificer of law and fact, crafting narratives and arguments to influence
interpretations; a strategic manipulator of procedural tactics designed to inflict
costs and delays on adversaries.19
More fundamentally, the bad man may be amoral himself, but the lawyer
hoping to advise him cannot, as a practical matter, ignore the fact that the legal
system incorporates many moral norms and judgments and that legal decision
makers may be morally outraged by the bad mans conduct that a jury may
see his case as an occasion to send corporate America a message or treat a
deliberate and opportunistic breach of contract as more reprehensible and requiring a severer sanction than an inadvertant breach. To the extent that the legal positivist aims at an accurate description of the content of the legal system,
he must ignore the positivist who wants to separate law from morals. If he tries
to understand the law and nothing else, he will never understand the law in
operation.
It makes more sense to read Holmes as recommending a heuristic for a very
limited purpose: when analyzing legal doctrine, which is only part of a modern
lawyers job, disregard all of the moral-sounding phrases in legal language
malice, fault, intention, right, duty; dig beneath those phrases to find
out what for each rule is the set of circumstances that triggers the liability and
what sanctions actually attach; then redescribe the rule in language that avoids
the imprecision of the moralistic phrasing. The bad man turns out to be one of
Uncle Alecs practical jokes a deliberate provocation, a device to shock the
audience out of a complacent and into an enquiring state of mind.
IV. The Path of the Law and the Profession Today
In our own day, of course, a wholly de-moralized view of the lawyers role has
achieved wide currency. In this view, which began to creep into professional
rhetoric around 1900 but was not firmly established until very recently, the practice of law is almost completely privatized, shorn of all of its public functions
save a thin residue of the officer-of-the-court duty of candor to tribunals. Law
as a system of public values is no longer supposed to concern private lawyers
in their ordinary work: those public aims are relegated to the specialized
province of policymakers and judges. It concerns private lawyers only in their
optional after-hours pro bono efforts. Lawyers and their work are often evalu-
Law as a Vocation
15
Holmes fought against the reduction of the goal of law practice to making
money by his characteristic method of frankly acknowledging the prevalence
and even the validity of commercial motives but then appealing to something
beyond them:
The object of ambition, power, generally presents itself nowadays in the form of money
alone. Money is the most immediate form, and a proper object of desire. The fortune,
said Rachel, is the measure of the intelligence. That is a good text to waken people out
of a fools paradise. But, as Hegel says, It is in the end not the appetite, but the opinion, which has to be satisfied. To an imagination of any scope the most far-reaching
form of power is not money, it is the command of ideas . . . We cannot all be Descartes
or Kant, but we all want happiness. And happiness, I am sure from having known many
successful men, cannot be won simply by being counsel for great corporations and having an income of fifty thousand dollars. An intellect great enough to win the prize needs
other foods besides success.21 (Path, 4056)
The problem for Holmes is that, as we have seen, he has placed skeptical
roadblocks across all of the generally recommended paths for those who would
seek meaning and value in the lawyers work. For him, the notion that the search
for universal scientific laws will ultimately reveal a cosmic moral order is a pathetic anthropomorphic conceit. We are in the universe, not it in us. Nor can
16
Robert W. Gordon
legal principles, rightly understood, be regarded as organic social bonds holding society together: rather, they express conflicting forces locked in perpetual
struggle. Rights are only what significant social blocs, the crowd, are willing to die for. Legal tradition is not a source of experience perfected or principles maturing over time, but a mass of survivals maintained through fictions and
confusions, at best worth keeping only because people have come to rely on
them. There seems little scope in such a world for the lawyer-statesman.
V. The Lawyers Vocation
Nevertheless, in The Path of the Law and other speeches and writings Holmes
consistently advances quite a redemptive view of the lawyers calling in a disenchanted world. He puts forward two broad ideal conceptions of the calling,
envisioning the lawyer as (1) the soldier, or jobbist, to use Holmess own term,
and (2) the thinker, or scientist, exploring new territory. The second category
must be broken down into several others: the abstract or impractical student of the law, on the one hand, and several practical kinds of thinker, on the
other, including the legal-doctrinal theorist, the critical legal historian, and the
master of social science (or the science of legislation, to use a term then in
general use). Finally, there is the superthinker, or great speculative philosopher,
who, ironically, ultimately exercises the greatest practical influence of all.
A. The Soldier or Jobbist
The soldier, or jobbist, is a familiar figure out of the Puritan ethic, the man
who labors humbly in his calling, subordinating himself to the techne (specialist craft ethic) of that calling. (Jobbist is Holmess own coinage, from his
imaginary society of the jobbists, who were free to be egotists or altruists in
the usual Saturday half-holiday provided they were neither while at work.22)
His is what Hegel called the heroism of dumb service, like that of the soldier
who finds a secret existential satisfaction in the meticulous performance of the
most trivial details of army routine. Holmes liked to quote the Anglican poet
George Herbert: Who sweeps a room as [in] Thy [cause] / Makes that and the
action fine.23
It seems to me . . . that the rule for serving our fellow-men . . . that the beginning of selfsacrifice and of holiness is to do ones task with ones might. If we do that, I think we
find that our motives take care of themselves. We find that what may have been begun
as a means becomes an end in itself; that self-seeking is forgotten in labors . . . ; that our
personality is swallowed up in working [to] ends outside ourselves.24
Holmes famously made this jobbist ethic into the keystone of his conception of
the judge as the supple tool of power whose job is to serve existing precedent
simply because it exists; if my fellow-citizens want to go to Hell I will help
Law as a Vocation
17
Of course if, like Holmes, you are convinced that the endless organic
process is a Darwinian struggle of powers, interests, and unconscious instincts
clawing at one another for dominance and survival, the value of being part of
the process consists only in being a living link in the food chain, chewing or being chewed. It is one thing to aspire to be Darwin; it is another to aspire to be
one of Darwins specimens. Holmes repeatedly seems to confuse the two. While
praising a well-known Boston railroad lawyer for sticking to his profession instead of seeking a wider fame in public service, he observes:
The external and immediate result of an advocates work is but to win or lose a case. But
remotely what the lawyer does is to establish, develop or illuminate rules which are to
govern the conduct of men for centuries; to set in motion principles and influences which
shape the thought and action of generations which know not by whose command they
move. The man of action has the present, but the thinker controls the future; his is the
most subtile [subtle], the most far-reaching power. His ambition is the vastest, as it is the
most ideal.29
18
Robert W. Gordon
connecting law practice with the ideal rarely permitted the lawyer just to labor
humbly in his calling. It required a more heroic intellectual commitment. To the
extent that The Path of the Law is a vocational address, that higher aspiration is
its major theme: the lawyer as thinker or scientist.
Holmess strongest praise, as David Luban has stressed in his fascinating essay on Holmes and Nietzsche,33 was always reserved for activities directed toward no practical end (an embarrassment to those who would like to portray
Holmes as primarily a utilitarian policy wonk). As he says in another of his major speeches, Law in Science and Science in Law,
I by no means share that morality which finds in a remoter practice the justification of
philosophy and science. I do not believe that we must justify our pursuits by the motive
of social well-being . . . The man of science in the law is not merely a bookworm . . . I
doubt if there is any more exalted form of life than that of a great abstract thinker, wrapt
in the successful study of problems to which he devotes himself, for an end which is . . .
simply to feed the deepest hunger and use the greatest gifts of his soul.34
One way of pursuing the legal vocation in the grand manner, therefore, is as a
disinterested scientist, studying the law historically, as a great anthropological
document, to discover what ideals of society have been strong enough to
reach that final form of expression . . . to study it as an exercise in the morphology and transformation of human ideas.35 Holmes himself had spent all of
his spare time in his years of practice on just such an impractical project, the
historical sections of his book The Common Law. But the moment he issues this
ringing scholars manifesto, he takes some of it back just as he resigned his
post as a Harvard Law School professor a few months after taking it up, in order to accept a judgeship:
But after all the place for a man who is complete in all his powers is in the fight. The
professor, the man of letters, gives up one-half of his life that his protected talent may
grow and flower in peace. But to make up your mind at your peril upon a living question, for purposes of action, calls upon your whole nature . . . [Though I appreciate the
disinterested scientific study of the law,] of course I think, as other people do, that the
main ends of the subject are practical.36
Law as a Vocation
19
Path of the Law: the legal-doctrinal theorist, the historian, and the scientific policy analyst, to list them in the chronological order in which they dominated
Holmess own persona in the evolution of his ideas. The job of the doctrinal theorist is to organize and rationalize the body of existing common law doctrine
into as broad generalizations as can be found. Jurisprudence, as I look at it, is
simply law in its most generalized part. Every effort to reduce a case to a rule
is an effort of jurisprudence . . . One mark of a great lawyer is that he sees the
application of the broadest rules (Path, 403). The reason why the lawyer
must expel moral concepts from legal analysis and must shun merely dramatic classifications of rules such as those for Railroads or Telegraphs (403)
in favor of more fundamental conceptions is that the narrow categories hinder,
rather than help, the lawyer to predict the consequences of legal rules. [M]orals
are imperfect social generalizations expressed in terms of feeling, and . . . to
make the generalizations perfect we must wash out the emotion and get a cold
head.38 Unlike his contemporary C. C. Langdell, Holmes did not think that law
was a science in the sense that once one has induced the general laws or principles one can then deduce from them all possible applications: for Holmes law
was historically contingent and changing, shot through with conflicting and
contradictory lines of precedent and principle. But he did believe in generalization as a pragmatic aid to prediction and that both lawyers and judges
would be better at their jobs (getting the law right, in the sense of achieving
consistency with other applications) if they made more and better use of the
tools of theory:39
Theory is the most important part of the dogma of the law, as the architect is the most
important man . . . in the building of a house . . . [Theory] is not to be feared as unpractical, for, to the competent, it simply means going to the bottom of the subject.
(Path, 405)
The second lawyer-thinker, the historian, is better employed at the disinterested or impractical study of the law as a great anthropological document
and Holmes was a great admirer of modern scientific historians of law such as
Heinrich Brunner and F. W. Maitland, who were so employed. But the practical use of history is merely auxiliary, a helpmeet to the true masters of modern law, the social scientists. Holmess essay Law in Science makes the point
most effectively:
From a practical point of view . . . [historys] use is mainly negative and skeptical . . .
[I]ts chief good is to burst inflated explanations. Every one instinctively recognizes that
in these days the justification for a law for us cannot be found in the fact that our fathers
have always followed it. It must be found in some help which the law brings toward
reaching a social end which the governing power of the community has made up its mind
that it wants. And when a lawyer sees a rule in force he is very apt to invent, if he does
not find, some ground of policy for its base . . . Many [laws] might as well be different,
and history is the means by which we measure the power which the past has had to gov-
20
Robert W. Gordon
ern the present in spite of ourselves, so to speak, by imposing traditions which no longer
meet their original end. History sets us free and enables us to make up our minds dispassionately whether the survival which we are enforcing answers any new purpose
when it has ceased to answer the old.40
The example here is an exception to the hearsay rule, admitting earlier statements of complainants in trials for rape. Although this doctrine had recently
been fitted out with a policy rationale to Holmes the very implausible one that
a virtuous woman who has been raped will want to disclose the crime as soon
as possible historical research reveals that the exception originated in the early
procedural requirement that felony victims must raise the hue and cry.41 The
use of history here is thus negative and critical, arguing for the elimination of a
rule by exposing its source in a context now archaic or irrelevant.
So to quote one of the most famous passages in The Path of the Law,
History . . . is a part of the rational study [of the law] because it is the first step toward
an enlightened skepticism, that is, toward a deliberate reconsideration of the worth of
those rules. When you get the dragon out of his cave on to the plain and in the daylight,
you can count his teeth and claws, and see just what is in his strength. But to get him out
is only the first step. The next is either to kill him, or tame him and make him a useful
animal. (Path, 399)
Holmes then introduces his deus ex machina, the most mysterious character
in the entire menagerie, the practical lawyer-scientist:
For the rational study of the law the black-letter man may be the man of the present, but
the man of the future is the man of statistics and the master of economics. (399)
This is the policy analyst, who is needed because neither doctrinal theory nor
history can supply an adequate rational justification for deciding cases or for
fashioning broad legal principles or legislative policies one way instead of another. Behind the logical form of doctrinal reasoning lies a judgment as to the
relative worth and importance of competing legislative grounds, often an inarticulate and unconscious judgment, it is true, and yet the very root and nerve of
the whole proceeding (397). This is the voice of the antiformalist Holmes, who
held that decisions in hard cases were decisions on (usually inarticulate) policy
grounds, that rational judges would either make the grounds more articulate or,
seeing that debatable matters of policy were at stake, refrain from [generalizing] into [Constitutional principles] acceptance of the economic doctrines which
prevailed about fifty years ago (398). This Holmes, in his own time, was a hero
to Progressive reformers and legal realists, and in ours to law-and-economics
scholars, the Holmes who carried forward the project of Bentham and Mill to
rationalize and reform the body of law according to utilitarian criteria.
From much excellent work on this aspect of Holmes,42 it is clear that the Progressives sense of kinship with Holmes was largely misplaced, for he thought
most of their reform agenda twaddle, though they were clever at appropriating
Law as a Vocation
21
his authority for that agenda.43 His deference as a judge to dominant community opinion, as reflected in legislation or the discretionary decisions of local
officials, led him to vote more frequently even than his conservative brethren
to sustain grossly illiberal legislative and administrative acts practically the
sole exceptions being the free-speech cases of his post-1919 U.S. Supreme
Court career.44 Holmes as utilitarian or proto-lawyer-economist has fared somewhat better than Holmes as Progressive-liberal, though here too there are some
reasons for skepticism most obviously, Holmess scorn for the merely practical and his dream of rational utopias. [W]ho of us could endure a world, although cut into five-acre lots and having no man upon it who was not well fed
and well housed, without the divine folly of honor, without the senseless . . .
knowledge out-reaching the flaming bounds of the possible, without ideals the
essence of which is that they never can be achieved?45 That is not a question
you are going to find in the Journal of Law and Economics. Holmes reserved
his greatest enthusiasm for quests for the unattainable.46
What does Holmes think is the role of policy analysis in the practical work
of lawyers? Most often, despite the military metaphors, the policy man is rather
removed from the thick of battle (on the intelligence staff, as it were), engaged
in the study of the law. From such a vantage point the thinker may retheorize
entire fields of law with a view to recommending legislative change. The example Holmes gives us is a core issue of penal policy: Does punishment deter? If crime, like normal human conduct, is mainly a matter of imitation, punishment . . . may . . . keep it out of fashion. If, on the other hand, the typical
criminal is a degenerate, bound to swindle or to murder by . . . organic necessity then deterrence is useless; he must be incapacitated or destroyed (Path,
400). Despite Holmess skepticism about the limits of rational understanding,
he shared with most intellectuals of his time a striking confidence that science
would be able to answer such questions.
But he also recommends policy analysis to those in the front lines of legal
action chiefly, it appears, to law reformers. He recommends it to judges
[I]nasmuch as the real justification of a rule of law . . . is that it helps to bring
about a social end which we desire, it is no less necessary that those who make
and develop the law should have those ends articulately in their minds47 but
only to a very limited extent. Usually judges should not undertake to renovate
the law, because the stability of existing law is important. But in hard cases
where principles and precedents conflict, the judges are called on to exercise
the sovereign prerogative of choice.48 And as a step toward the ideal of
study of the ends sought to be attained [by law] and of the reasons for desiring them, every lawyer ought to seek an understanding of economics. The
present divorce between our schools of political economy and law seems to me
an indication of how much progress in political economy needs to be made
(Path, 408). Thus every lawyer ought to some extent to be involved in the
public enterprise of the rational reformation of the law.
22
Robert W. Gordon
Yet the big dilemma for Holmesians is this: if you think social ideals are just
strongly held preferences or unconscious instincts that get into the law because at a given time they have enough force behind them, how is the policy analyst supposed to weigh these values to determine . . . the relative worth of
our different social ends? Of course, if his historian-helper has demonstrated
that a legal rule is a mere survival, expressing an obsolete policy that nobody
believes in any more, the policy expert simply purges that rule. And if a policy
has triumphed with such overwhelming force that it is supported by an unchallenged consensus, the only debates are technical ones about how to carry the
policy out. But what of the situation that Holmes believes to be the common
one, that policies are debatable because opposing forces are locked in struggle?
Holmes suggests a range of approaches.
1.
mysterious quantification. Law in Science gives the fullest rendering of the problem. Science consists of the substitution of quantitative for
qualitative measure:
[In] the law we only occasionally can reach an absolutely final and quantitative determination, because the worth of the competing social ends which respectively solicit a
judgment for the plaintiff or the defendant cannot be reduced to number and adequately
fixed. The worth, that is, the intensity of the competing desires, varies with the varying
ideals of the time, and, if the desires were constant, we could not get beyond a relative
decision that one was greater and one was less. But it is of the essence of improvement
that we should be as accurate as we can.49
What is to be our method for improving our accuracy? Translating worth into
intensity does not solve the problem, because Holmess theory of value is
based on power. He cannot use something like willingness to pay in markets
or shadow markets, because he is just as or more impressed by willingness to
kill or sacrifice in blood to obtain what one wants. Liability for industrial accidents is really the question how far it is desirable that the public should insure
the safety of those whose work it uses . . . [T]he economic value even of a life
to the community can be estimated, and no recovery, it may be said, ought to
go beyond that amount (Path, 398). That is Holmes in his utilitarian mood.
But the Darwinian Holmes recognizes that the value of a life to the community
is a fighting issue and that the answer depends on who has the power to do the
estimating.
2. arbitrary rules and lines. The aim of turning judgments of quality
into judgments of quantity therefore rarely produces a metric for resolving socially contested policy disputes. If courts cannot duck such disputes (that is, follow the policy of abstention I take up next), it is best if they simulate scientific
exactness by drawing arbitrary lines, turning vague standards such as duty of
care or reasonable notice of dishonor into bright-line rules.
Law as a Vocation
23
As law embodies beliefs that have triumphed in the battle of ideas and then have translated themselves into action, while there still is doubt, while opposite convictions still
keep a battle front against each other, the time for law has not come; the notion destined
to prevail is not yet entitled to the field.50
The applications that made him famous, of course, were his dissents in Fourteenth Amendment cases once he had reached the Supreme Court. When the
policy analyst uncovers as the real basis of a doctrinal formula (e.g., liberty of
contract) a hotly contested policy debate the economic doctrines of fifty
years ago or Mr. Herbert Spencers Social Statics versus doctrines of the
present Constitutional courts should stay out of the fight.
4. activism, or leveling the playing field. On rare occasions,
Holmes as policy-conscious judge took a more actively innovative role, urging
courts help to level the playing field so that forces in social combat could fight
on more equal terms, or at least less encumbered by arbitrary handicaps or advantages imposed by the legal system. The important occasions all dissents
are his Massachusetts labor opinions51 and his federal free-speech opinions. In
the state cases, he thought it wrong for his court to grant injunctions against
picketing workers in order to protect employers property, because all economic struggle harmed some peoples property and much of this harm (like that
inflicted by competition) was privileged and uncompensated. Believing that
his court was deciding a policy issue on nothing stronger than prejudice,
Holmes thought that it should abstain and let capital and labor fight it out in the
marketplace and legislature. The more dramatic occasions are the great freespeech dissents,52 in which Holmes believed that the government was impermissibly interfering in the struggle for dominance in the marketplace of ideas,
in violation of a Constitutional norm promoting that struggle as the best test
of truth.
5. restraint in the promotion of causes. Holmes says: I cannot but
believe that if the training of lawyers led them habitually to consider more definitely and explicitly the social advantage on which the rule they lay down must
be justified, they sometimes would hesitate where now they were confident, and
see they were taking sides upon debatable and often burning questions (Path,
398). The context indicates that Holmes is still talking about judges here (a tribunal of lawyers), and surely this is so, for it is the business of lawyers to take
sides on debatable and often burning questions.
But there are payoffs for immersion in policy science for lawyers too
chiefly, it seems, for lawyers for social-reform movements. In the 1880s and
24
Robert W. Gordon
One can see why Holmess views appeal to present-day conservative legal economists; even more than theirs, his was a bleak Malthusian negative-sum view of
reform: any redistributions would impair production incentives or be eaten up by
population increases or otherwise add to the burdens of those who sought to benefit.55 But to give him credit, though he mostly thought it was labor unions and
social democrats who stood in need of education, he also thought wealthy interests and their lawyers needed prudential counseling informed by consequentialist analysis to tell them when repressive tactics that had usually worked for them
were likely to backfire. The scientifically trained lawyer could tell clients when
their own or their groups desires were likely to be self-defeating. In that role
there is at least a minimalist theory of socially responsible law practice.
Holmess view of the policy analyst is in a way an updated version of Tocquevilles view of lawyers as ingrained conservatives, who serve as a counterforce to democratic excess by braking the momentum of popular majorities. It
is a considerable irony, therefore, that Holmess views that private-law doctrines are saturated with policy judgments that lawyers should explicitly articulate, criticize, and rationalize should have most inspired the practice of several generations of Progressives, who quoted those views as manifestoes for
their social-reform activism.
VI. Holmes as a Public Professional
Holmes and many of his contemporaries at the Boston bar faced a common situation and responded to it in interestingly different ways. They were liberally
Law as a Vocation
25
26
Robert W. Gordon
lic-interest law, as the Lawyer for the People, who argued cases on behalf of
diffuse constituencies such as women and consumers, designed novel approaches to rate regulation, and served as a public intervenor and mediator in
labor disputes. He carried his public perspectives into much of his activity as a
private lawyer, taking a quasi-judicial perspective on his clients problems and
helping his business clients find structural solutions to systemic social problems
such as workers insecurity and seasonal unemployment. His main social project was the attempt, through antitrust policy and democratizing the governance
of decentralized collectives such as companies and unions, to enable individuals to realize the republican ideals of self-development and self-government in
a modern industrial polity by decentralizing the economy. Like Holmes, Brandeis thought the lawyer should be a policy analyst, armed with a knowledge of
social fact and social science. Unlike Holmes, who thought social struggle was
often a zero-sum game and that the best use of science was to dampen the ardor of reformers by showing them they could not get what they wanted, Brandeis believed (like other Progressives) that lawyers trained in social science
could serve the cause of social improvement by recommending to warring parties and factions solutions that would improve the position of all.57
What would Holmes have thought about such approaches to the lawyers vocation as Storeys and Brandeiss? One thing is clear: after the Civil War, he was
no longer a man of social causes. He had no taste for any of the reform enthusiasms that swept up many lawyers in contemporary Boston. In general, the firm
of Shattuck Holmes & Munroe represented the dominant interests in its community, not the oppressed of Boston or New England, said Mark Howe, adding
drily: If any of the partners had a social conscience his practice did not reveal
it.58 Toward Storeys long crusade for the civil rights of blacks, Holmes on the
bench proved indifferent or hostile. As a U.S. Supreme Court justice, he voted
more regularly even than his conservative colleagues to deny petitions of blacks
claiming violations of their civil rights;59 generally he deferred to state legislatures and local authorities, with whose political judgments he was unwilling
to interfere. In most cases involving race, the lessons of experience were, apparently, that if the white South, as the de facto dominant power in the community, wanted to subordinate its black citizens under the thinnest cover of formally legal equal treatment, there was nothing the federal courts could or should
do about it.60 Though Holmes admired Brandeis personally for his intelligence
and intensity, he was scathing about most projects of social improvement (except eugenics), describing them as futile or self-defeating. Holmess toughminded scientific naturalism led him almost to relish the brutality of quasi-natural forces such as race domination and the expansion of large-scale corporate
capitalism and to be very skeptical about the capacity of legal controls to
soften the impact of natural necessity.
Yet although he gave up on social causes, Holmes did not withdraw from the
world of ordinary occupations and become a pessimistic Cassandra, like his